Our securities arbitration and litigation attorneys provide experienced, aggressive and strategic advocacy to brokerage firms, registered investment advisers and financial advisers in a wide variety of complex securities litigation and arbitration matters and other legal claims, including the following:

  • Investment fraud
  • Breach of fiduciary duty – Investors put their trust with a broker based on their experience and knowledge in the area of investments. Brokers and brokerage firms have a duty to deal in good faith with their clients and many jurisdictions hold that brokers owe their securities customers a heightened duty known as “fiduciary duty.” Brokers and brokerage firms can be held responsible for abusing the investor’s trust and confidence and breaching their fiduciary duties.
  • Unsuitable investments – investments that don’t suit your needs or your long-term financial goals.
  • Misrepresentation of information – A broker fails to give you all the information about an investment or does not disclose certain risks.
  • Noncompliance with securities laws and regulations
  • Churning – broker engages in excessive trading for the purpose of generating additional commissions.
  • Overconcentration – failure of the broker to diversify an investor’s portfolio to provide protection against a decline in value of one particular investment.
  • Overcharging of commissions of transaction fees
  • Excessive use of margin
  • Unauthorized trading – Broker who buys or sells securities in an investor’s account without the prior consent of the investor.

Call now if you’ve been a victim of stock broker fraud.